This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
securities; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
underwriting:
interests in managed investment schemes; and
an issue of securities;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Gary Robert Glover | 2004 | Bachelor of Business - Queensland University of Technology ~ Derivatives Level 1 and 2 - Kaplan ~ Graduate Diploman in Applied Finance and Investment - Securities of Australia |
| Graham Maunder | 2002 | ADA2 - The Securities Institute of Australia ~ Margin Lending - KAPLAN ~ PS146 Compliance (Securities and Managed Investments) - The Securities Institute of Australia ~ Responsible Executive Exam - Stockbrokers Association of Australia ~ Superannuation - Stockbrokers Association of Australia |
| John Maroules | 2011 | Bachelor of Business - James Cook University ~ Core 1 Securities and Managed Investments Accreditation Program - Stockbrokers Association of Australia ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia ~ Superannuation - Stockbrokers Association of Australia |
| Joseph Benjamin Andary | 2010 | Accredited Derivatives 1 & 2 - Stockbrokers Association ~ Bachelor of Business - Queensland University of Technology ~ Margin Lending Accreditation - Deakin Prime/ Stockbrokers Association |
| Patrick Ian Shepherd | 2015 | Diploma in Financial Services - AFMA ~ Macquarie University - MBA ~ Macquarie University - Master of Management |
| Paul Rhigas | 2014 | 923 Securities - Kaplan Professional Education ~ ADA1 - Kaplan Professional Education ~ ADA2 - Kaplan Professional Education ~ Derivatives General Advice - Mentor Education Group |
| Rebecca Maher | 2017 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Business - University of Technology Sydney ~ Diploma of Financial Services (Financial Planning) - Kaplan |
| Sara Noel Harman | 1981 | ADA Derivatives Update 1 and 2 - Kaplan Professional ~ Business Studies - Public Relations - Royal Melbourne Institute of Technology ~ Certificate in Financial Markets - Securities Institute ~ Margin Lending and Geared Investments - Kaplan Professional ~ Masters in Arts Journalism - University of Technology, Sydney |